-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, DyJJiGHnfzUTxwJCeTEIz/i+w/bjioNzRQLKsgHBvC41iCLk8VirL0JMKbLe/SyA dsrwvKFe/HhJULk/5LU8dQ== 0000819692-04-000115.txt : 20040903 0000819692-04-000115.hdr.sgml : 20040903 20040903134755 ACCESSION NUMBER: 0000819692-04-000115 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040730 FILED AS OF DATE: 20040903 DATE AS OF CHANGE: 20040903 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KOCH JOHN D CENTRAL INDEX KEY: 0001220185 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-16311 FILM NUMBER: 041016257 BUSINESS ADDRESS: STREET 1: C/O CHARTER ONE FINANCIAL INC STREET 2: 1215 SUPERIOR AVENUE CITY: CLEVELAND STATE: OH ZIP: 44114 BUSINESS PHONE: 2165665300 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CHARTER ONE FINANCIAL INC CENTRAL INDEX KEY: 0000819692 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 341567092 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1215 SUPERIOR AVE CITY: CLEVELAND STATE: OH ZIP: 44114 BUSINESS PHONE: 2165665300 MAIL ADDRESS: STREET 1: 1215 SUPERIOR AVENUE STREET 2: 1215 SUPERIOR AVENUE CITY: CLEVELAND STATE: OH ZIP: 44114 4 1 c0001220185d20040903f4f.xml PRIMARY DOCUMENT X0202 4 2004-07-30 1 0000819692 CHARTER ONE FINANCIAL INC CF 0001220185 KOCH JOHN D 1215 SUPERIOR AVENUE CLEVELAND OH 44114- 1 1 0 0 Executive Vice President Common Stock 2004-07-30 5 G 0 1460 0 D 461590 D Common Stock 2004-09-01 4 D 0 6183 16.17 A 467773 D Common Stock 2004-09-01 4 D 0 4489 22.28 A 472262 D Common Stock 2004-09-01 4 D 0 4330 23.09 A 476592 D Common Stock 2004-09-01 4 D 0 4165 24.01 A 480757 D Common Stock 2004-09-01 4 D 0 3947 25.33 A 484704 D Common Stock 2004-09-01 4 D 0 3437 29.09 A 488141 D Common Stock 2004-09-01 4 D 0 3052 32.76 A 491193 D Common Stock 2004-09-01 4 D 0 150095 16.17 A 641288 D Common Stock 2004-09-01 4 D 0 79712 16.5 A 721000 D Common Stock 2004-09-01 4 D 0 158876 22.28 A 879876 D Common Stock 2004-09-01 4 D 0 159762 23.09 A 1039638 D Common Stock 2004-09-01 4 D 0 144672 24.01 A 1184310 D Common Stock 2004-09-01 4 D 0 164053 25.33 A 1348363 D Common Stock 2004-09-01 4 D 0 156563 29.09 A 1504926 D Common Stock 2004-09-01 4 D 0 156948 32.76 A 1661874 D Common Stock 2004-09-01 4 D 0 1200284 20.34 D 461590 D Common Stock 2004-09-01 4 D 0 82850.0414 0 A 544440.0414 D Common Stock 2004-09-01 4 D 0 82850.0414 44.5 D 461590 D Common Stock 2004-09-01 4 D 0 461590 44.5 D 0 D Common Stock 2004-09-01 4 U 0 59994 44.5 D 0 I By 401(k) Common Stock 2004-09-01 4 U 0 69574 44.5 D 0 I By ESOP Common Stock 2004-09-01 4 U 0 2400 44.5 D 0 I By IRA Trustee Common Stock 2004-09-01 4 U 0 66172 44.5 D 0 I Trustee for sons Common Stock 2004-09-01 4 U 0 7949 44.5 D 0 I By wife Common Stock 2004-09-01 4 U 0 128721 44.5 D 0 I Family Limited Partnership Phantom Stock Units 1 2004-09-01 4 D 0 82850.0414 44.5 D 2004-09-01 2004-09-01 Common Stock 82850.0414 0 D Incentive Stock Option 16.17 2004-09-01 4 D 0 6183 28.33 D 2003-01-19 2010-01-19 Common Stock 6183 0 D Incentive Stock Option 22.28 2004-09-01 4 D 0 4489 22.28 D 2001-01-21 2008-01-21 Common Stock 4489 0 D Incentive Stock Option 23.09 2004-09-01 4 D 0 4330 21.41 D 2000-01-19 2009-01-19 Common Stock 4330 0 D Incentive Stock Option 24.01 2004-09-01 4 D 0 4165 20.49 D 2004-01-23 2011-01-23 Common Stock 4165 0 D Incentive Stock Option 25.33 2004-09-01 4 D 0 3947 19.17 D 2005-01-19 2011-12-19 Common Stock 3947 0 D Incentive Stock Option 29.09 2004-09-01 4 D 0 3437 15.41 D 2006-01-18 2012-12-18 Common Stock 3437 0 D Incentive Stock Option 32.76 2004-09-01 4 D 0 3052 11.74 D 2007-01-19 2013-12-19 Common Stock 3052 0 D Nonqualified Stock Option 16.17 2004-09-01 4 D 0 150095 28.33 D 2003-01-19 2010-01-19 Common Stock 150095 0 D Nonqualified Stock Option 16.5 2004-09-01 4 D 0 79712 28 D 2000-01-17 2007-01-17 Common Stock 79712 0 D Nonqualified Stock Option 22.28 2004-09-01 4 D 0 158876 22.22 D 2001-01-21 2008-01-21 Common Stock 158876 0 D Nonqualified Stock Option 23.09 2004-09-01 4 D 0 159762 21.41 D 2002-01-19 2009-01-19 Common Stock 159762 0 D Nonqualified Stock Option 24.01 2004-09-01 4 D 0 144672 20.49 D 2004-01-23 2011-01-23 Common Stock 144672 0 D Nonqualified Stock Option 25.33 2004-09-01 4 D 0 164053 19.17 D 2005-01-19 2011-12-19 Common Stock 164053 0 D Nonqualified Stock Option 29.09 2004-09-01 4 D 0 156563 15.41 D 2006-01-18 2012-12-18 Common Stock 56563 0 D Nonqualified Stock Option 32.76 2004-09-01 4 D 0 156948 11.74 D 2007-01-19 2013-12-19 Common Stock 156948 0 D Pursuant to the Agreement and Plan of Merger by and among Charter One Financial, Inc., and Citizens Financial Group, Inc., these derivative securities were canceled in exchange for cash payment by the issuer of $44.50 per share minus the exercise price, if any. (The transactions reported on Table I are the same as the cashed out securities on Table II) one for one Robert J. Vana, Power of Attorney 2004-09-03 -----END PRIVACY-ENHANCED MESSAGE-----